HR
Procedure
LGPS
Internal Dispute
Resolution
(Appeal)
(Employer Issues only)
Introduction
This document sets out the key steps to be followed in the case of pension appeals and
identifies roles and responsibilities. This procedure refers to the Local Government Pension
Scheme only, for other pension schemes refer to the scheme information for appeals. This
also applies to Community and Voluntary Controlled schools.
Full details of the “LGPS (England & Wales) Internal Dispute Resolution Procedure” are
available from the employer’s website at YPS. Authorisation is required to access this site.
A Guide for Scheme members or their representative is available at
http://www.yourpensionservice.org.uk/local_government/index.asp?siteid=5921&pag
eid=44218&e=e
The Internal Dispute Resolution Procedure (Appeal Process) applies to active, deferred and
pensioner members, their widows, widowers, civil partners and dependents and their
nominated representatives.
Scheme members or their representatives should be encouraged to take the opportunity to
try and resolve a matter informally in the first instance.
Whilst this is a formal process the intention of this procedure is to ensure that easily
resolved complaints and misunderstandings are dealt with and not unnecessarily referred to
the Pension Ombudsman.
Applicants can seek advice from The Pensions Advisory Service (TPAS), 11 Belgrave
Road, London, SW1V 1RB or at http://www.pensionsadvisoryservice.org.uk
Stage One – Application
The applicant must submit an application in writing setting out the reasons why they feel
aggrieved, to [email protected] or by post to: Your
Pension Service, PO Box 100, County Hall, Preston, PR1 0LD. An application form is
attached as Appendix 1, detailing the information required for an application.
The application must be made within six months of the matter giving rise to the dispute or
such longer period as the Adjudicator considers reasonable in the circumstances, at their
discretion.
YPS will forward the application to the Technical Finance Officer – Pensions Administration,
[email protected] with a copy to [email protected] in the Council’s
Pension Section. The appeal will then be directed to either the relevant Adjudicator or the
Complaints section of the Council as appropriate.
This procedure relates to those matters to be considered by the Adjudicator.
Stage One - Making the Decision
The adjudicator, in respect of appeals against employer decisions or lack of decisions, is a
relevant Senior Manager who will:


Check that the applicant has submitted their appeal within six months of the relevant
date (unless they consider a longer period justified); and
Undertake a formal review of the initial decision considering the evidence and
representations submitted by the parties to the complaint together with any other
evidence considered necessary, requested from expert advisers.
Stage One - Notifying the employee of the Decision
The relevant Senior Manager will provide the applicant with written notification of the
decision within two months of receipt of the relevant particulars. However if it is not possible
to issue a decision within the two months a letter should be sent as soon as possible
explaining the reason for the delay and giving an expected date for the decision. The written
decision should include:






the decision;
reference to any legislation or Scheme provisions that is relies on;
where relevant, a reference to the Scheme provisions conferring the discretion whose
exercise has caused the disagreement;
a reference to the applicants right to have the disagreement reconsidered by the
administering authority, and the time limits for doing this;
a statement that The Pension Advisory Service (TPAS) is available to assist the
applicant with any difficulty with the Scheme which remains unresolved and the TPAS
address;
a statement that the Pensions Ombudsman may investigate and determine any
compliant or dispute of fact or law.
People Management will process the decision / outcome as set out below. In all cases a
copy of the outcome letter must be sent to Julie Dole and YPS.
June 2017
Unless the applicant refers this decision for determination under the second stage this
decision is final and binding on the Council.
Stage Two - Application
If the applicant is not satisfied with the decision at stage one, they can refer the matter to the
Council (administering authority) for reconsideration. This should be sent to YPS, who will
refer this to [email protected] with a copy to [email protected]. The
application should include:
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


the information provided at stage one;
a statement of the reasons why the applicant is dissatisfied with the decision;
a statement confirming they wish the disagreement to be reconsidered;
any other supporting information considered relevant.
This must be made within 6 months of the stage one decision (or the date at which there is a
failure to make a decision) and must be signed by the applicant. Late appeals will only be
considered at the discretion of the Adjudicator.
Stage Two - Making the Decision
The person appointed by the Council to consider stage 2 appeals against employer
decisions, or lack of decisions is the Senior Manager, Pensions & Financial Services, who
will not have been previously involved and who will:



Reconsider the decision taking full account of the facts of the case and any evidence
submitted, or relied on, by either party in the determination at stage one;
Check that the regulations were applied correctly;
Check that sound, impartial procedures were used to reach the decision including the
reasonable and consistent exercise of any discretion.
Stage Two - Notifying the Applicant of the Decision
The Senior Manager, Pensions & Financial Services will provide the applicant with written
notification of the decision within two months of receipt of the relevant particulars and
include all the details set out in the stage one outcome letter.
If it is not possible to issue a decision within the two months a letter should be sent as soon
as possible explaining the reason for the delay and giving an expected date for the decision.
People Management will inform YPS and ask them to process the decision / outcome. In all
cases the outcome letter will be sent to YPS and to the employer.
Processing the Decision
People Management will administer the internal appeal process and will:
1. Notify YPS of the outcome of either stage one or two;
2. Complete the appropriate forms for YPS to implement any changes to the pension
member’s benefits or their representative’s benefits where applicable;
3. Monitor appeals, outcomes / decisions to support consistency.
This is the end of the internal procedures.
External Appeal process
Any further appeal should be made to the Pension Ombudsman within three years from the
date of the original decision. The pension Ombudsman has jurisdiction to consider disputes
of fact or law and complaints of maladministration. The address http://www.pensionsombudsman.org.uk/contact-us or by post to: The Office of the Pensions Ombudsman, 11
Belgrave Road, London, SW1V 1RB.
YPS responsibilities
Where the decision is made which affects pension benefits YPS will write to the applicant
and where appropriate give them their payments options and / or process the pension
changes.
Review
This procedure will be reviewed periodically in the light of developments in the law, pension’s
regulations, and changes in the needs of the organisation in order to ensure continuing
effectiveness and relevance.
For Schools:
This procedure applies to Community, Voluntary Controlled, Foundation and Voluntary Aided
schools.
Academies will have their own procedures.
Appendices
Appendix 1 – Internal Appeal Application form
Appendix 2 – Process Map
Version Control
Version 1
June 2015
Version 2
June 2017
June 2017
Changes Made
Specific guidance introduced
outlining process for resolution
Updated process in Stage 1 to
remove Senior Manager, People
Management
Author
S Benson
S Benson
Appendix 1 - Internal Appeal Application Form
Application under the Internal Dispute Resolution Procedure
You can use this form:
a) to apply to the nominated person at stage 1 of the internal dispute resolution procedure if you
want them to investigate a complaint concerning your pension; and
b) to apply to the administering authority if you want them to reconsider a determination made by
the nominated person.
Please write clearly in ink, and use capital letters in boxes 1, 2 and 3.
1.
Member details:
If you are the member (the person who is or was in the Scheme), or a prospective member (a person
who is eligible to be a member of the Scheme), please give your details in this box.
You can then go straight to box 4.
If you are the member’s dependant (for example, their husband, wife or child), please give the member’s
details in this section, and then go to box 2.
If you are representing the person with the compliant, please give the member’s details in this section,
and then go to box 2.
Full Name
Address
Date of Birth
Employer
National Insurance
number
2.
Dependant’s details:
If you are the member’s widow, widower, civil partner or dependant and the complaint is about a benefit
for you, please give your details in this box and then go to box 4.
If the complaint is about a benefit for a dependant and you are the dependant’s representative, please
give the dependants details in this box and then go to box 3.
Full Name
Address
Date of Birth
Relationship to
member
National Insurance
number
3.
Representative’s details:
If you are the member’s or dependant’s representative, please give your details in his box.
Full Name
Address
The address
response letters
should be sent to
4.
Your complaint
Please give full details of your complaint in this box. Please try to explain exactly why you are unhappy,
giving any dates or periods of Scheme membership that you think are relevant.
If there is not enough space, please go on to a separate sheet and attach to this form. Remember
to write your name and national insurance number at the top of any separate sheet if you are a member.
Or, if you are not a member, put the member’s name and national insurance number at the top of any
separate sheet.
5.
Your Signature
I would like my complaint to be considered and a decision to be made about it. I am a:
June 2017

Scheme member/former member/prospective member*

Dependant of a former member*

Member’s representative/dependant’s representative*
*Delete as appropriate
Signed:
6.
Date:
Please enclose a copy of any notification of the decision you are complaining of which
has been issued by the employer or administering authority. Also enclose any other letter or
notification that you think might be helpful.
PLEASE SEND THIS FORM TO:
Your Pension Service
PO Box 100
County Hall
Preston
PR1 0LD
Appendix 2 – LGPS Internal Dispute Resolution (Appeal) Procedure
Applicant
Send to the
Finance / Pensions
Team
Finance /
Pensions Team
Submit appeal using
by letter and/or the
internal appeal
application form
YPS
Phase1 of 1
Determine if the appeal is
against employer actions.
No further Action
No further Action
Yes
Yes
Does the
applicant agree
with the
decision?
No
People
Management
Does the
applicant agree
with the
decision?
No
Senior Manager
considers all
relevant
information and
evidence.
Move to relevant
process.
Provide written
notification to
applicant notifying
them of the basis of
decision and the
right to appeal.
Inform YPS and
CCC Finance Officer
– Pensions
Administration
No
Move to external
appeal.
Implement changes
to pension.
Implement changes
to pension.
Yes
Senior Manager
considers all
relevant
information and
evidence.
Submit Stage 2
appeal using by
letter and/or the
internal appeal
application form
Provide written
notification to
applicant notifying
them of the basis of
decision and the
right to external
appeal.
Inform YPS and
CCC Finance Officer
– Pensions
Administration